Quality & compliance
Your compliance framework. Our execution.
We don't replace your compliance. We operate within it. Every review, every document, every escalation follows your firm's rules.
Consumer Duty compliance
Every review generates evidence that your firm is meeting its Consumer Duty obligations. We capture the review conversation, outcomes, and any actions taken, all stored in your back office system.
Your processes, not ours
We don't impose a template. We learn your firm's existing review process, use your documentation standards, and follow your escalation criteria. The output looks like it came from your team, because it follows your rules.
Audit trail in your system
Every client interaction is recorded in your Intelliflo. Notes, outcomes, follow-up actions, file updates. If the FCA asks, the evidence is where you'd expect it to be.
Escalation governance
Clear criteria for what gets escalated to your advisers. No grey areas. Each escalation comes with a briefing document so your adviser has full context before the client conversation.
Relationship manager quality
Our RMs are experienced financial services professionals. They understand the regulatory environment, the products, and how to have a structured review conversation with a client.
Ongoing oversight
Regular reporting on review volumes, escalation rates, and client outcomes. You always know what's happening with your client book. No black boxes.